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United States Government Accountability Office:
GAO:
Testimony:
Before the Subcommittee on National Security, Committee on Oversight
and Government Reform, House of Representatives:
For Release on Delivery:
Expected at 9:00 a.m. EDT:
Thursday, June 27, 2013:
Border Security:
Progress and Challenges in DHS Implementation and Assessment Efforts:
Statement of Rebecca Gambler, Director:
Homeland Security and Justice:
GAO-13-653T:
GAO Highlights:
Highlights of GAO-13-653T, a testimony before the Subcommittee on
National Security, Committee on Oversight and Government Reform, House
of Representatives.
Why GAO Did This Study:
At the end of fiscal year 2004, DHS had about 28,100 personnel
assigned to patrol U.S. land borders and inspect travelers at air,
land, and sea POEs, with a total security cost of about $5.9 billion.
At the end of fiscal year 2011, DHS had about 41,400 personnel
assigned to air, land, and sea POEs and along the borders, with a
total security cost of about $11.8 billion. DHS has reported that
these resources have contributed to stronger enforcement efforts on
the border. However, challenges remain to secure the border. In recent
years, GAO has reported on a variety of DHS border security programs
and operations.
As requested, this statement addresses some of the key issues and
recommendations GAO has made in the following areas: (1) DHS’s efforts
to secure the border at and between POEs; (2) DHS interagency
coordination and oversight of border security information sharing and
enforcement efforts; and (3) DHS management of infrastructure,
technology, and other assets used to secure the border. This statement
is based on prior products GAO issued from January 2008 through March
2013, along with selected updates conducted in April 2013. For
selected updates, GAO reviewed DHS information on actions it has taken
to address prior GAO recommendations.
What GAO Found:
U.S. Customs and Border Protection (CBP), part of the Department of
Homeland Security (DHS), has reported progress in stemming illegal
cross-border activity, but it could strengthen the assessment of its
efforts. For example, since fiscal year 2011, DHS has used the number
of apprehensions on the southwest border between ports of entry (POE)
as an interim measure for border security. GAO reported in December
2012 that apprehensions decreased across the southwest border from
fiscal years 2006 through 2011, generally mirroring a decrease in
estimated known illegal entries in each southwest border sector. CBP
attributed this decrease in part to changes in the U.S. economy and
increased resources for border security. Data reported by CBP’s Office
of Border Patrol (Border Patrol) show that total apprehensions across
the southwest border increased from over 327,000 in fiscal year 2011
to about 357,000 in fiscal year 2012. It is too early to assess
whether this increase indicates a change in the trend. GAO testified
in February 2013 that the number of apprehensions provides information
on activity levels but does not inform program results or resource
allocation decisions. Border Patrol is in the process of developing
performance goals and measures for assessing the progress of its
efforts to secure the border between POEs, but it has not identified
milestones and time frames for developing and implementing them, as
GAO recommended. DHS concurred with GAO’s recommendations and said
that it plans to set a date for establishing such milestones and time
frames by November 2013.
According to DHS law enforcement partners, interagency coordination
and information sharing improved, but challenges remain. GAO reported
in November 2010 that information sharing and communication among
federal law enforcement officials responsible for federal borderlands
had increased; however, gaps remained in ensuring law enforcement
officials had access to daily threat information. GAO recommended that
relevant federal agencies ensure interagency agreements for
coordinating information and integrating border security operations
are further implemented. These agencies agreed, and in January 2011,
CBP issued a memorandum affirming the importance of federal
partnerships to address border security threats on federal lands.
While this is a positive step, to fully satisfy the intent of GAO’s
recommendation, DHS needs to take further action to monitor and uphold
implementation of the existing interagency agreements.
Opportunities exist to improve DHS’s management of border security
assets. For example, DHS conceived the Secure Border Initiative
Network as a surveillance technology and deployed such systems along
53 miles of Arizona’s border. In January 2011, in response to
performance, cost, and schedule concerns, DHS canceled future
procurements, and developed the Arizona Border Surveillance Technology
Plan (the Plan) for the remainder of the Arizona border. GAO reported
in November 2011 that in developing the Plan, CBP conducted an
analysis of alternatives, but it had not documented the analysis
justifying the specific types, quantities, and deployment locations of
technologies proposed in the Plan, which GAO recommended that it do.
DHS concurred with this recommendation. GAO has ongoing work in this
area, and among other things, is examining DHS’s efforts to address
prior recommendations, and expects to issue a report in fall 2013.
What GAO Recommends:
In prior reports, GAO made recommendations to DHS to strengthen its
border security programs and efforts. DHS generally concurred and has
taken actions, or has actions planned or underway to address them.
View [hyperlink, http://www.gao.gov/products/GAO-13-653T]. For more
information, contact Rebecca Gambler at (202) 512-8777 or
gamblerr@gao.gov.
[End of section]
GAO:
United States Government Accountability Office:
441 G St. N.W.
Washington, DC 20548:
Chairman Chaffetz, Ranking Member Tierney, and Members of the
Subcommittee:
I am pleased to be here today to address the Department of Homeland
Security's (DHS) efforts to secure U.S. borders against threats of
terrorism; the smuggling of drugs, humans, and other contraband; and
illegal migration. At the end of fiscal year 2004, the first full year
DHS existed as an agency, it had about 10,500 agents assigned to
patrol the U.S. land borders and about 17,600 officers inspecting
travelers at air, land, and sea ports of entry (POE),[Footnote 1] and
a total of about $5.9 billion allocated to secure the entire U.S.
border.[Footnote 2] At the end of fiscal year 2011, both the number of
personnel and amount of resources dedicated to border security had
substantially increased, with approximately 21,400 agents assigned to
patrol the U.S. land borders and more than 20,000 officers assigned to
air, land, and sea POEs, amounting to about $11.8 billion allocated to
secure the entire U.S. border.[Footnote 3]
DHS has reported that these increased resources have contributed to
stronger enforcement efforts on the border. However, challenges remain
in securing the border both at and between land POEs. For example, DHS
data also show that several hundred thousand persons have entered the
country illegally through and between the nation's POEs. Further, our
analysis of DHS data indicated that across southwest border sectors,
seizures of drugs and other contraband increased 83 percent from
fiscal years 2006 through 2011--from 10,321 to 18,898.[Footnote 4] In
fiscal year 2012, DHS data indicated that seizures decreased to 17,891
across the southwest border.
DHS's efforts to secure the border at and between the POEs are the
primary responsibility of the U.S. Customs and Border Protection's
(CBP) Office of Field Operations (OFO)[Footnote 5] and Office of
Border Patrol,[Footnote 6] respectively. Other DHS components also
play a role in border security. CBP's Office of Air and Marine
operates a fleet of air and marine assets in support of federal border
security efforts. DHS's U.S. Immigration and Customs Enforcement (ICE)
is responsible for investigating cross-border illegal activity and
criminal organizations that transport persons and goods across the
border. In addition, other federal, state, local, and tribal law
enforcement agencies also expend resources for border security. For
example, the Departments of the Interior (DOI) and Agriculture (USDA)
have jurisdiction for law enforcement on federal borderlands
administered by their component agencies, including DOI's National
Park Service, Fish and Wildlife Service, and Bureau of Land
Management, and USDA's Forest Service.
Over the years, we have reported on a variety of DHS border security
programs and operations. As requested, my statement discusses progress
and challenges in the following areas:
(1) DHS's efforts to secure the border at and between POEs;
(2) DHS interagency coordination and oversight of border security
information sharing and enforcement efforts; and:
(3) DHS management of infrastructure, technology, and other assets
used to secure the border.
This statement is based on related reports and testimonies we issued
from January 2008 through March 2013 that examined DHS efforts to
secure the U.S. border (see Related GAO Products at the end of this
statement). It also includes selected updates we conducted in April
2013. Our reports and testimonies incorporated information we obtained
and analyzed from officials from various DHS components, the
Department of Justice (DOJ), DOI, USDA; and state and local law
enforcement agencies. More detailed information about our scope and
methodology can be found in our reports and testimonies. For the
updates, we collected information from DHS on actions it has taken to
address recommendations made in prior reports on which this statement
is based. We conducted all of this work in accordance with generally
accepted government auditing standards. Those standards require that
we plan and perform the audit to obtain sufficient, appropriate
evidence to provide a reasonable basis for our findings and
conclusions based on our audit objectives. We believe that the
evidence obtained provides a reasonable basis for our findings and
conclusions based on our audit objectives.
DHS Has Reported Progress in Addressing Illegal Cross-Border Activity,
but Could Improve Assessment of Its Efforts:
Border Patrol Has Reported Some Success in Addressing Illegal
Migration, but Challenges Remain in Assessing Efforts and Identifying
Resource Needs:
Since fiscal year 2011, DHS has used changes in the number of
apprehensions on the southwest border between POEs as an interim
measure for border security, as reported in its annual performance
reports. As we reported in December 2012, our data analysis showed
that apprehensions across the southwest border decreased 69 percent
from fiscal years 2006 through 2011.[Footnote 7] These data generally
mirrored a decrease in estimated known illegal entries in each
southwest border sector. As we testified in February 2013, data
reported by Border Patrol following the issuance of our December 2012
report showed that total apprehensions across the southwest border
increased from over 327,000 in fiscal year 2011 to about 357,000 in
fiscal year 2012.[Footnote 8] It is too early to assess whether this
increase indicates a change in the trend for Border Patrol
apprehensions across the southwest border. Through fiscal year 2011,
Border Patrol attributed decreases in apprehensions across sectors in
part to changes in the U.S. economy, achievement of strategic
objectives, and increased resources for border security.
In addition to collecting data on apprehensions, Border Patrol
collects other types of data that are used by sector management to
help inform assessment of its efforts to secure the border against the
threats of illegal migration and smuggling of drugs and other
contraband. These data show changes, for example, in the (1)
percentage of estimated known illegal entrants who are apprehended,
(2) percentage of estimated known illegal entrants who are apprehended
more than once (repeat offenders), (3) number of seizures of drugs and
other contraband, and (4) number of apprehensions of persons from
countries at an increased risk of sponsoring terrorism.[Footnote 9]
Our analysis of these data show that the percentage of estimated known
illegal entrants apprehended from fiscal years 2006 through 2011
varied across southwest border sectors. The percentage of individuals
apprehended who repeatedly crossed the border illegally declined by 6
percent from fiscal years 2008 through 2011. Further, the number of
seizures of drugs and other contraband across the border increased
from 10,321 in fiscal year 2006 to 18,898 in fiscal year 2011. Our
analysis of the data also show that apprehensions of persons from
countries at an increased risk of sponsoring terrorism--referred to as
Aliens from Special Interest Countries--increased each fiscal year
from 239 in fiscal year 2006 to 399 in fiscal year 2010, but dropped
to 253 in fiscal year 2011.[Footnote 10]
As we reported in December 2012, Border Patrol sectors and stations
track changes in their overall effectiveness as a tool to determine if
the appropriate mix and placement of personnel and assets are being
deployed and used effectively and efficiently, according to officials
from Border Patrol headquarters.[Footnote 11] Border Patrol data
showed that the effectiveness rate for eight of the nine sectors on
the southwest border improved from fiscal year 2006 through 2011.
[Footnote 12] Border Patrol headquarters officials said that
differences in how sectors define, collect, and report turn back data
(entrants who illegally crossed the border but were not apprehended
because they crossed back into Mexico) and got away data (entrants who
illegally crossed the border and continued traveling into the U.S.
interior) used to calculate the overall effectiveness rate preclude
comparing performance results across sectors. Border Patrol
headquarters officials stated that until recently, each Border Patrol
sector decided how it would collect and report turn back and got away
data, and as a result, practices for collecting and reporting the data
varied across sectors and stations based on differences in agent
experience and judgment, resources, and terrain. Border Patrol
headquarters officials issued guidance in September 2012 to provide a
more consistent, standardized approach for the collection and
reporting of turn back and got away data by Border Patrol sectors.
Each sector is to be individually responsible for monitoring adherence
to the guidance. According to Border Patrol officials, it is expected
that this guidance will help improve data reliability. Implementation
of this new guidance may allow for comparison of sector performance
and inform decisions regarding resource deployment for securing the
southwest border.
Border Patrol is in the process of developing performance goals and
measures for assessing the progress of its efforts to secure the
border between POEs and for informing the identification and
allocation of resources needed to secure the border, but has not yet
identified milestones and time frames for developing and implementing
them. Since fiscal year 2011, DHS has used the number of apprehensions
on the southwest border between POEs as an interim performance goal
and measure for border security as reported in its annual performance
report. Prior to this, DHS used operational control as its goal and
outcome measure for border security and to assess resource needs to
accomplish this goal.[Footnote 13] Operational control--also referred
to as effective control--was defined as the number of border miles
where Border Patrol had the capability to detect, respond to, and
interdict cross-border illegal activity. DHS last reported its
progress and status in achieving operational control of the borders in
fiscal year 2010. At that time, DHS reported achieving operational
control for 1,107 (13 percent) of 8,607 miles across U.S. northern,
southwest, and coastal borders.[Footnote 14] Along the southwest
border, DHS reported achieving operational control for 873 (44
percent) of the about 2,000 border miles.[Footnote 15] At the
beginning of fiscal year 2011, DHS transitioned from using operational
control as its goal and outcome measure for border security. We
testified in February 2013 that the interim goal and measure of number
of apprehensions on the southwest border between POEs provides
information on activity levels but does not inform program results or
resource identification and allocation decisions, and therefore until
new goals and measures are developed, DHS and Congress could
experience reduced oversight and DHS accountability.[Footnote 16]
Further, studies commissioned by CBP have found that the number of
apprehensions bears little relationship to effectiveness because
agency officials do not compare these numbers with the amount of cross-
border illegal activity.[Footnote 17]
Border Patrol officials stated that the agency is in the process of
developing performance goals and measures, but has not identified
milestones and time frames for developing and implementing them.
According to Border Patrol officials, establishing milestones and time
frames for the development of performance goals and measures is
contingent on the development of key elements of its new strategic
plan, such as a risk assessment tool, and the agency's time frames for
implementing these key elements--targeted for fiscal years 2013 and
2014--are subject to change. We recommended that CBP establish
milestones and time frames for developing a performance goal, or
goals, for border security between POEs that defines how border
security is to be measured, and a performance measure, or measures,
for assessing progress made in securing the border between POEs and
informing resource identification and allocation efforts. DHS
concurred with our recommendations and stated that it plans to set a
date for when it will establish such milestones and time frames by
November 2013.
CBP Has Strengthened POE Inspection Programs and Officer Training, and
Has Additional Actions Planned or Under Way:
As part of its homeland security and legacy customs missions, CBP
inspects travelers arriving at POEs to counter threats posed by
terrorists and others attempting to enter the country with fraudulent
or altered travel documents and to prevent inadmissible aliens,
criminals, and goods from entering the country. In fiscal year 2012,
CBP inspected about 352 million travelers, and over 107 million cars,
trucks, buses, trains, vessels, and aircraft at over 329 air, sea, and
land POEs. We have previously identified vulnerabilities in the
traveler inspection program and made recommendations to DHS for
addressing these vulnerabilities, and DHS implemented these
recommendations. For example, we reported in January 2008 on
weaknesses in CBP's inbound traveler inspection program,[Footnote 18]
including challenges in attaining budgeted staffing levels because of
attrition and lack of officer compliance with screening procedures,
such as those used to determine citizenship and admissibility of
travelers entering the country as required by law and CBP policy.
[Footnote 19] Factors that contributed to these challenges included
lack of focus, complacency, lack of supervisory presence, and lack of
training. We recommended that CBP enhance internal controls in the
inspection process, implement performance measures for apprehending
inadmissible aliens and other violators, and establish measures for
training provided to CBP officers and new officer proficiency. DHS
concurred with these recommendations and has implemented them.
Specifically, in January 2008, CBP reported, among other things, that
all land port directors are required to monitor and assess compliance
with eight different inspection activities using a self-inspection
worksheet that is provided to senior CBP management. At that time, CBP
also established performance measures related to the effectiveness of
CBP interdiction efforts. Additionally, in June 2011, CBP began
conducting additional classroom and on-the-job training, which
incorporated ongoing testing and evaluation of officer proficiency.
In December 2011, we reported that CBP had revised its training
program for newly hired CBP officers in accordance with its own
training development standards.[Footnote 20] Consistent with these
standards, CBP convened a team of subject-matter experts to identify
and rank the tasks that new CBP officers are expected to perform. As a
result, the new curriculum was designed to produce professional law
enforcement officers capable of protecting the homeland from
terrorist, criminal, biological, and agricultural threats.
We also reported that CBP took some steps to identify and address the
training needs of its incumbent CBP officers but could do more to
ensure that these officers were fully trained. For example, we
examined CBP's results of covert tests of document fraud detection at
POEs conducted over more than 2 years and found weaknesses in the CBP
inspection process at the POEs that were tested. In response to these
tests, CBP developed a "Back to Basics" course in March 2010 for
incumbent officers, but had no plans to evaluate the effectiveness of
the training. We also reported that CBP had not conducted an analysis
of all the possible causes or systemic issues that may have
contributed to the covert test results. We recommended in December
2011 that CBP analyze covert tests and evaluate the "Back to Basics"
training course, and DHS concurred with these recommendations. In
April 2012, CBP officials reported that they had completed an
evaluation of the "Back to Basics" training course and implemented an
updated, subsequent training course. Further, in November 2012, CBP
officials stated that they had analyzed the results of covert tests
prior to and since the implementation of the subsequent course.
According to these officials, they obtained the results of covert
tests conducted before and after the course was implemented to
determine to what extent significant performance gains were achieved
and to identify any additional requirements for training. In April
2013, CBP provided a copy of its analysis of the covert test results.
GAO is reviewing CBP's analysis of the covert test results and other
documentation as part of a congressional mandate to review actions the
agency has taken to address GAO recommendations regarding CBP officer
training.[Footnote 21] We expect to report on the status of CBP's
efforts in the late summer of 2013. Further, in July 2012, CBP
completed a comprehensive analysis of the results of its document
fraud covert tests from fiscal years 2009 through 2011. In addition,
we reported that CBP had not conducted a needs assessment that would
identify any gaps between identified critical skills and incumbent
officers' current skills and competencies. We recommended in December
2011 that CBP conduct a training needs assessment.[Footnote 22] DHS
concurred with this recommendation. In April 2013, CBP reported to us
that it is working to complete a training needs assessment, but has
faced challenges in completing such an assessment because of personnel
and budget issues, including retirements, attrition, loss of contract
support, sequestration, and continuing resolutions. CBP plans to
develop a final report on a training needs assessment by August 2013
outlining findings, conclusions, and recommendations from its analysis.
DHS Law Enforcement Partners Reported Improved Results for Interagency
Coordination, but Challenges Remain:
DOI and USDA Reported Improved DHS Coordination to Secure Federal
Borderlands, but Gaps Remained in Sharing Information for Daily
Operations:
Illegal cross-border activity remains a significant threat to federal
lands protected by DOI and USDA law enforcement personnel on the
southwest and northern borders and can cause damage to natural,
historic, and cultural resources, as well as put agency personnel and
the visiting public at risk. We reported in November 2010 that
information sharing and communication among DHS, DOI, and USDA law
enforcement officials had increased in recent years.[Footnote 23] For
example, interagency forums were used to exchange information about
border issues, and interagency liaisons facilitated exchange of
operational statistics. Federal agencies also established interagency
agreements to strengthen coordination of border security efforts.
However, we reported in November 2010 that gaps remained in
implementing interagency agreements to ensure law enforcement
officials had access to daily threat information to better ensure
officer safety and an efficient law enforcement response to illegal
activity. For example, Border Patrol officials in the Tucson sector
did not consult with federal land management agencies before
discontinuing dissemination of daily situation reports that federal
land law enforcement officials relied on for a common awareness of the
types and locations of illegal activities observed on federal
borderlands. Further, in Border Patrol's Spokane sector, on the
northern border, coordination of intelligence information was
particularly important because of sparse law enforcement presence and
technical challenges that reduced Border Patrol's ability to fully
assess cross-border threats, such as air smuggling of high-potency
marijuana.
We recommended that DHS, DOI, and USDA provide oversight and
accountability as needed to further implement interagency agreements
for coordinating information and integrating operations. These
agencies agreed with our recommendations, and in January 2011, CBP
issued a memorandum to all Border Patrol division chiefs and chief
patrol agents emphasizing the importance of USDA and DOI partnerships
to address border security threats on federal lands. While this is a
positive step, to fully satisfy the intent of our recommendation, DHS
would need to take further action to monitor and uphold implementation
of the existing interagency agreements to enhance border security on
federal lands.
Northern Border Partners Reported Interagency Forums Improved
Coordination, but DHS Did Not Provide Oversight to Resolve Interagency
Conflict in Roles and Responsibilities:
DHS has stated that partnerships with other federal, state, local,
tribal, and Canadian law enforcement agencies are critical to the
success of northern border security efforts. We reported in December
2010 that DHS efforts to coordinate with these partners through
interagency forums and joint operations were considered successful,
according to a majority of these partners we interviewed.[Footnote 24]
In addition, DHS component officials reported that federal agency
coordination to secure the northern border had improved. However, DHS
did not provide oversight for the number and location of forums
established by its components, and numerous federal, state, local, and
Canadian partners cited challenges related to the inability to provide
resources for the increasing number of forums, raising concerns that
some efforts may be overlapping. In addition, federal law enforcement
partners in all four locations we visited as part of our work cited
ongoing challenges between Border Patrol and ICE, Border Patrol and
Forest Service, and ICE and DOJ's Drug Enforcement Administration in
sharing information and resources that compromised daily border
security related to operations and investigations. DHS had established
and updated interagency agreements to address ongoing coordination
challenges; however, oversight by management at the component and
local levels has not ensured consistent compliance with provisions of
these agreements.
We also reported in December 2010 that while Border Patrol's border
security measures reflected that there was a high reliance on law
enforcement support from outside the border zones, the extent of
partner law enforcement resources that could be leveraged to fill
Border Patrol resource gaps, target coordination efforts, and make
more efficient resource decisions was not reflected in Border Patrol's
processes for assessing border security and resource requirements.
[Footnote 25] We recommended that DHS provide guidance and oversight
for interagency forums and for component compliance with interagency
agreements, and develop policy and guidance necessary to integrate
partner resources in border security assessments and resource planning
documents. DHS agreed with our recommendations and has reported taking
action to address one of them. For example, in June 2012, DHS released
a northern border strategy, and in August 2012, DHS notified us of
other cross-border law enforcement and security efforts taking place
with Canada. However, to fully satisfy the intent of our
recommendation, CBP would need to develop policy and guidance
specifying how partner resources will be identified, assessed, and
integrated in DHS plans for implementing the northern border strategy.
To address the remaining recommendations, DHS would need to establish
an oversight process for interagency forums to ensure that missions
and locations of interagency forums are not duplicative and consider
the downstream burden on northern border partners, as well as an
oversight process that evaluates the challenges and corrective actions
needed to ensure Border Patrol and ICE compliance with interagency
memorandums.
Opportunities Exist to Improve DHS's Management of Border Security
Assets:
DHS Has Deployed Assets to Secure the Borders, but Has Not Provided
Complete Information on Plans, Metrics, and Costs:
In November 2005, DHS launched the Secure Border Initiative (SBI), a
multiyear, multibillion-dollar program aimed at securing U.S. borders
and reducing illegal immigration. Through this initiative, DHS planned
to develop a comprehensive border protection system using technology,
known as the Secure Border Initiative Network (SBInet), and tactical
infrastructure--fencing, roads, and lighting. Under this program, CBP
increased the number of southwest border miles with pedestrian and
vehicle fencing from 120 miles in fiscal year 2005 to about 650 miles
as of March 2013.[Footnote 26] We reported in May 2010 that CBP had
not accounted for the impact of its investment in border fencing and
infrastructure on border security.[Footnote 27] Specifically, CBP had
reported an increase in control of southwest border miles, but could
not account separately for the impact of the border fencing and other
infrastructure. In September 2009, we recommended that CBP determine
the contribution of border fencing and other infrastructure to border
security.[Footnote 28] DHS concurred with our recommendation and, in
response, CBP contracted with the Homeland Security Studies and
Analysis Institute to conduct an analysis of the impact of tactical
infrastructure on border security. CBP reported in February 2012 that
preliminary results from this analysis indicate that an additional 3
to 5 years are needed to ensure a credible assessment.
Since the launch of SBI in 2005, we have identified a range of
challenges related to schedule delays and performance problems with
SBInet. SBInet was conceived as a surveillance technology to create a
"virtual fence" along the border, and after spending nearly $1
billion, DHS deployed SBInet systems along 53 miles of Arizona's
border that represent the highest risk for illegal entry. In January
2011, in response to concerns regarding SBInet's performance, cost,
and schedule, DHS canceled future procurements. CBP developed the
Arizona Border Surveillance Technology Plan (the Plan) for the
remainder of the Arizona border.
In November 2011, we reported that CBP does not have the information
needed to fully support and implement its Plan in accordance with DHS
and Office of Management and Budget (OMB) guidance.[Footnote 29] In
developing the Plan, CBP conducted an analysis of alternatives and
outreach to potential vendors. However, CBP did not document the
analysis justifying the specific types, quantities, and deployment
locations of border surveillance technologies proposed in the Plan.
Specifically, according to CBP officials, CBP used a two-step process
to develop the Plan. First, CBP engaged the Homeland Security Studies
and Analysis Institute to conduct an analysis of alternatives
beginning with ones for Arizona. Second, following the completion of
the analysis of alternatives, the Border Patrol conducted its
operational assessment, which included a comparison of alternative
border surveillance technologies and an analysis of operational
judgments to consider both effectiveness and cost. While the first
step in CBP's process to develop the Plan--the analysis of
alternatives--was well documented, the second step--Border Patrol's
operational assessment--was not transparent because of the lack of
documentation. As we reported in November 2011, without documentation
of the analysis justifying the specific types, quantities, and
deployment locations of border surveillance technologies proposed in
the Plan, an independent party cannot verify the process followed,
identify how the analysis of alternatives was used, assess the
validity of the decisions made, or justify the funding requested. We
also reported that CBP officials have not yet defined the mission
benefits expected from implementing the new Plan, which could help
improve CBP's ability to assess the effectiveness of the Plan as it is
implemented.
In addition, we reported that CBP's 10-year life cycle cost estimate
for the Plan of $1.5 billion was based on an approximate order-of-
magnitude analysis, and agency officials were unable to determine a
level of confidence in their estimate, as best practices suggest.
Specifically, we found that the estimate reflected substantial
features of best practices, being both comprehensive and accurate, but
it did not sufficiently meet other characteristics of a high-quality
cost estimate, such as credibility, because it did not identify a
level of confidence or quantify the impact of risks. GAO and OMB
guidance emphasize that reliable cost estimates are important for
program approval and continued receipt of annual funding. In addition,
because CBP was unable to determine a level of confidence in its
estimate, we reported that it would be difficult for CBP to determine
what levels of contingency funding may be needed to cover risks
associated with implementing new technologies along the remaining
Arizona border.
We recommended in November 2011 that, among other things, CBP document
the analysis justifying the technologies proposed in the Plan,
determine its mission benefits, and determine a more robust life cycle
cost estimate for the Plan.[Footnote 30] DHS concurred with these
recommendations, and has reported taking action to address some of the
recommendations. For example, in October 2012, CBP officials reported
that, through the operation of two surveillance systems under SBInet's
initial deployment in high-priority regions of the Arizona border, CBP
has identified examples of mission benefits that could result from
implementing technologies under the Plan. Additionally, CBP initiated
action to update its cost estimate for the Plan by, among other
things, providing revised cost estimates in February and March 2012
for the Integrated Fixed Towers and Remote Video Surveillance System,
the Plan's two largest projects. We currently have ongoing work in
this area for congressional requesters and, among other things, are
examining DHS's efforts to address prior recommendations, and expect
to issue a report with our final results in the fall of 2013.
In March 2012, we reported that the CBP Office of Air and Marine
(OAM)--which provides aircraft, vessels, and crew at the request of
its customers, primarily Border Patrol--had not documented significant
events, such as its analyses to support its asset mix and placement
across locations, and as a result, lacked a record to help demonstrate
that its decisions to allocate resources were the most effective ones
in fulfilling customer needs and addressing threats.[Footnote 31] OAM
issued various plans that included strategic goals, mission
responsibilities, and threat information. However, we could not
identify the underlying analyses used to link these factors to the mix
and placement of resources across locations. OAM did not have
documentation that clearly linked the deployment decisions in the plan
to mission needs or threats. For example, while the southwest border
was Border Patrol's highest priority for resources in fiscal year
2010, it did not receive a higher rate of air support than the
northern border. Similarly, OAM did not document analyses supporting
the current mix and placement of marine assets across locations. OAM
officials said at the time that while they generally documented final
decisions affecting the mix and placement of resources, they did not
have the resources to document assessments and analyses to support
these decisions. However, we reported that such documentation of
significant events could help the office improve the transparency of
its resource allocation decisions to help demonstrate the
effectiveness of these resource decisions in fulfilling its mission
needs and addressing threats. We recommended in March 2012 that CBP
document analyses, including mission requirements and threats, that
support decisions on the mix and placement of OAM's air and marine
resources. DHS concurred with our recommendation and stated that it
plans to provide additional documentation of its analyses supporting
decisions on the mix and placement of air and marine resources by 2014.
Chairman Chaffetz, Ranking Member Tierney, and members of the
subcommittee, this concludes my prepared statement. I will be happy to
answer any questions you may have.
GAO Contact and Staff Acknowledgments:
For further information about this testimony, please contact Rebecca
Gambler at (202) 512-8777 or gamblerr@gao.gov. In addition, contact
points for our Offices of Congressional Relations and Public Affairs
may be found on the last page of this statement. Individuals making
key contributions to this statement included Lacinda Ayers, Kathryn
Bernet, and Jeanette Espinola (Assistant Directors), as well as
Jennifer Bryant, Frances Cook, Joseph Dewechter, Alana Finley, Barbara
Guffy, and Ashley D. Vaughan.
[End of section]
Related GAO Products:
Border Security: DHS's Progress and Challenges in Securing U.S.
Borders. [hyperlink, http://www.gao.gov/products/GAO-13-414T].
Washington, D.C.: March 14, 2013.
Border Patrol: Goals and Measures Not Yet in Place to Inform Border
Security Status and Resource Needs. [hyperlink,
http://www.gao.gov/products/GAO-13-330T]. Washington, D.C.: February
26, 2013.
Border Patrol: Key Elements of New Strategic Plan Not Yet in Place to
Inform Border Security Status and Resource Needs. [hyperlink,
http://www.gao.gov/products/GAO-13-25]. Washington, D.C.: December 10,
2012.
Border Patrol Strategy: Progress and Challenges in Implementation and
Assessment Efforts. [hyperlink,
http://www.gao.gov/products/GAO-12-688T]. Washington, D.C.: May 8,
2012.
Border Security: Opportunities Exist to Ensure More Effective Use of
DHS's Air and Marine Assets. [hyperlink,
http://www.gao.gov/products/GAO-12-518]. Washington, D.C.: March 30,
2012.
Border Security: Additional Steps Needed to Ensure Officers Are Fully
Trained. [hyperlink, http://www.gao.gov/products/GAO-12-269].
Washington, D.C.: December 22, 2011.
Arizona Border Surveillance Technology: More Information on Plans and
Costs Is Needed before Proceeding. [hyperlink,
http://www.gao.gov/products/GAO-12-22]. Washington, D.C.: November 4,
2011.
Border Security: Preliminary Observations on Border Control Measures
for the Southwest Border. [hyperlink,
http://www.gao.gov/products/GAO-11-374T]. Washington, D.C.: February
15, 2011.
Border Security: Enhanced DHS Oversight and Assessment of Interagency
Coordination is Needed for the Northern Border. [hyperlink,
http://www.gao.gov/products/GAO-11-97]. Washington, D.C.: December 17,
2010.
Border Security: Additional Actions Needed to Better Ensure a
Coordinated Federal Response to Illegal Activity on Federal Lands.
[hyperlink, http://www.gao.gov/products/GAO-11-177]. Washington, D.C.:
November 18, 2010.
Secure Border Initiative: DHS Has Faced Challenges Deploying
Technology and Fencing Along the Southwest Border. [hyperlink,
http://www.gao.gov/products/GAO-10-651T]. Washington, D.C.: May 4,
2010.
Secure Border Initiative: Technology Deployment Delays Persist and the
Impact of Border Fencing Has Not Been Assessed. [hyperlink,
http://www.gao.gov/products/GAO-09-896]. Washington, D.C.: September
9, 2009.
Border Security: Despite Progress, Weaknesses in Traveler Inspections
Exist at Our Nation's Ports of Entry. [hyperlink,
http://www.gao.gov/products/GAO-08-329T]. Washington, D.C.: January 3,
2008.
[End of section]
Footnotes:
[1] POEs are the facilities that provide for the controlled entry into
or departure from the United States for persons and materials.
Specifically, a POE is any officially designated location (seaport,
airport, or land border location) where DHS officers or employees are
assigned to clear passengers and merchandise, collect duties, and
enforce customs laws.
[2] The number of border agents includes those assigned to northern
and southwest border sectors. The number of officers assigned to POEs
does not include those performing trade or agricultural inspections.
The $5.9 billion includes all funds appropriated to DHS for border
security in fiscal year 2004.
[3] In fiscal years 2011 and 2012, appropriations acts provided that
DHS was to maintain an active duty presence of no fewer than 21,370
agents protecting the border of the United States. Department of
Defense and Full-Year Continuing Appropriations Act, 2011, div. B,
tit. VI, § 1608, Pub. L. No. 112-10, 125 Stat. 38, 140; Consolidated
Appropriations Act, 2012, div. D, tit. II, Pub. L. No. 112-74, 125
Stat. 786, 945-46 (2011).
[4] Drugs accounted for the vast majority of all contraband seizures;
contraband seizures other than drugs include firearms, ammunition, and
money.
[5] OFO is responsible for processing the flow of people and goods
that enter the country through air, land, and sea POEs, where CBP
officers inspect travelers and goods to determine whether they may be
legally admitted into the country.
[6] Border Patrol works to prevent the illegal entry of persons and
contraband into the United States between POEs by using intelligence
information to inform risk relative to threats of cross-border
terrorism, drug smuggling, and illegal migration across locations;
integrating border security operations with other law enforcement
partners to address threats; and developing rapid response
capabilities to deploy the resources appropriate to changes in threat.
[7] GAO, Border Patrol: Key Elements of New Strategic Plan Not Yet in
Place to Inform Border Security Status and Resource Needs, [hyperlink,
http://www.gao.gov/products/GAO-13-25] (Washington, D.C.: Dec. 10,
2012).
[8] GAO, Border Patrol: Goals and Measures Not Yet in Place to Inform
Border Security Status and Resource Needs, [hyperlink,
http://www.gao.gov/products/GAO-13-330T] (Washington, D.C.: Feb. 26,
2013).
[9] Border Patrol's estimate of known illegal entries includes
deportable entrants who were apprehended, in addition to the number of
entrants who illegally crossed the border but were not apprehended
because they crossed back into Mexico (referred to as turn backs) or
continued traveling into the U.S. interior (referred to as got aways).
We defined these illegal entries as estimated "known" illegal entries
to clarify that the estimates do not include illegal entrants for
which Border Patrol does not have reasonable indications of cross-
border illegal activity. These data are collectively referred to as
known illegal entries because Border Patrol officials have what they
deem to be a reasonable indication that the cross-border activity
occurred. Indications of illegal crossings are obtained through
various sources such as direct agent observation, referrals from
credible sources (such as residents), camera monitoring, and detection
of physical evidence left on the environment from animal or human
crossings.
[10] According to Border Patrol headquarters officials, the agency is
transitioning to a new methodology to identify the potential terrorist
risk in fiscal year 2013. This new methodology is to replace the use
of a country-specific list with a range of other factors to identify
persons posing an increased risk for terrorism when processing
deportable aliens.
[11] Border Patrol calculates an overall effectiveness rate using a
formula in which it adds the number of apprehensions and turn backs in
a specific sector and divides this total by the total estimated known
illegal entries--determined by adding the number of apprehensions,
turn backs, and got aways for the sector. Border Patrol views its
border security efforts as increasing in effectiveness if the number
of turn backs as a percentage of estimated known illegal entries has
increased and the number of got aways as a percentage of estimated
known illegal entries has decreased.
[12] The exception was the Big Bend sector, which showed a decrease in
the overall effectiveness rate from 86 percent in fiscal year 2006 to
68 percent in fiscal year 2011.
[13] Border Patrol sector officials assessed the miles under
operational control using factors such as operational statistics,
third-party indicators, intelligence and operational reports, resource
deployments, and discussions with senior Border Patrol agents.
[14] GAO, Border Patrol Strategy: Progress and Challenges in
Implementation and Assessment Efforts, [hyperlink,
http://www.gao.gov/products/GAO-12-688T] (Washington, D.C.: May 8,
2012).
[15] GAO, Border Security: Preliminary Observations on Border Control
Measures for the Southwest Border, [hyperlink,
http://www.gao.gov/products/GAO-11-374T] (Washington, D.C.: Feb. 15,
2011)
[16] [hyperlink, http://www.gao.gov/products/GAO-13-330T].
[17] For example, see Homeland Security Institute, Measuring the
Effect of the Arizona Border Control Initiative (Arlington, Virginia:
Oct. 18, 2005).
[18] GAO, Border Security: Despite Progress, Weaknesses in Traveler
Inspections Exist at Our Nation's Ports of Entry, [hyperlink,
http://www.gao.gov/products/GAO-08-329T] (Washington, D.C.: Jan. 3,
2008).
[19] The Immigration and Nationality Act, implementing regulations,
and CBP policies and procedures for traveler inspection at all POEs
require officers to establish, at a minimum, the nationality of
individuals and whether they are eligible to enter the country. See 8
U.S.C. § 1225(a); 8 C.F.R. § 235.1(a), (b), (f)(1).
[20] GAO, Border Security: Additional Steps Needed to Ensure Officers
Are Fully Trained, [hyperlink, http://www.gao.gov/products/GAO-12-269]
(Washington, D.C.: Dec. 22, 2011).
[21] Explanatory Statement, Consolidated and Further Continuing
Appropriations Act, 2013, 159 Cong. Rec. S1287, S1550 (daily ed. Mar.
11, 2013).
[22] [hyperlink, http://www.gao.gov/products/GAO-12-269].
[23] GAO, Border Security: Additional Actions Needed to Better Ensure
a Coordinated Federal Response to Illegal Activity on Federal Lands,
[hyperlink, http://www.gao.gov/products/GAO-11-177] (Washington, D.C.:
Nov. 18, 2010).
[24] GAO, Border Security: Enhanced DHS Oversight and Assessment of
Interagency Coordination Is Needed for the Northern Border,
[hyperlink, http://www.gao.gov/products/GAO-11-97] (Washington, D.C.:
Dec. 17, 2010).
[25] [hyperlink, http://www.gao.gov/products/GAO-11-97].
[26] The length of the border with Mexico is defined by the U.S.
International Boundary and Water Commission at 1,954 miles. The length
of the land border is 675 miles, while the length of the border along
the Colorado River and Rio Grande is 1,279 miles.
[27] GAO, Secure Border Initiative: DHS Has Faced Challenges Deploying
Technology and Fencing Along the Southwest Border, [hyperlink,
http://www.gao.gov/products/GAO-10-651T] (Washington, D.C.: May 4,
2010).
[28] GAO, Secure Border Initiative: Technology Deployment Delays
Persist and the Impact of Border Fencing Has Not Been Assessed,
[hyperlink, http://www.gao.gov/products/GAO-09-896] (Washington, D.C.:
Sept. 9, 2009).
[29] GAO, Arizona Border Surveillance Technology: More Information on
Plans and Costs Is Needed before Proceeding, [hyperlink,
http://www.gao.gov/products/GAO-12-22] (Washington, D.C.: Nov. 4,
2011).
[30] [hyperlink, http://www.gao.gov/products/GAO-12-22].
[31] GAO, Border Security: Opportunities Exist to Ensure More
Effective Use of DHS's Air and Marine Assets, [hyperlink,
http://www.gao.gov/products/GAO-12-518] (Washington, D.C.: Mar. 30,
2012).
[End of section]
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